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Compliance Officer (Quality Assurance; Trade Surveillance/E Communication)

Charterhouse Partnership Singapore Singapore
Posted 4 days ago Hybrid Permanent Highly Competitive
X
Posted by
Xuan Kwok
Recruiter
Charterhouse is supporting an International Bank to source for Compliance Officer (Quality Assurance; Trade Surveillance). Reporting to the Lead, the incumbent will contribute to the monitoring of incidents in collaboration with business lines and functions and to escalate any serious incidents and regulator investigations to Senior Management.

RESPONSIBILITIES:

  • Perform random checks of work completed by the trade surveillance or e-communication compliance officer.
  • Assist in compliance related matters during examinations by the Bank’s regulators and internal auditors
  • Advise on the execution of the generic control plans and independent testing;
  • Identify and assess key compliance risks applicable to all business activities through risk assessment exercises
  • Evaluate the overall effectiveness of frameworks in reducing overall risk level within the business lines
  • Lead and participate to periodic governance forums

 

REQUIREMENTS:

To qualify for the role, you should have

  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification;
  • Good knowledge of securities and derivatives markets, businesses, products;
  • Strong organizational and project management skills (documentation, issue tracking, effective coordination);
  • Analytical and problem solving skills with the ability to exercise sound and balanced judgment;
  • Ability to frame and document complex issues in order to prepare for senior managers decisions;

 

 

Please contact Xuan Kwok at +65 6950 0354 or XuanK@charterhouse.com.sg for a confidential discussion

 

EA License no: 16S8066 | Reg no.: R1433611

 

Only successful candidates will be notified.

 

Job ID  xk
ABOUT COMPANY
Singapore
HR & Recruitment
about charterhouse

Charterhouse was formed in 2003 in Australia and it has established itself as a reputed recruitment specialist in its industry. With footprints in Asia, Australasia and the Middle East, we offer professional and bespoke contingency and retained search services across a variety of industrial sectors.

For more information on how we can help you, give us a call for a confidential discussion at (65) 6435 5600.

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